1. WTO, Trade and Environment Division
Overview of the TBT Committee's Work on Conformity Assessment and of the Relevant Provisions of the TBT Agreement
Ludivine Tamiotti
WTO, Trade and Environment Division
Legal Affairs Officer

2. Scope of a Conformity Assessment Procedure in the TBT Agreement
Outline
Scope of a Conformity Assessment Procedure in the TBT Agreement
Main Disciplines
Approaches to Facilitate the Acceptance of Conformity Assessment Results

3. Scope of a Conformity Assessment Procedure in the TBT Agreement

4. Article 9 on International and Regional Systems
Relevant Provisions
Article 5 on Procedures for Assessment of Conformity by Central Government Bodies
Article 6 on Recognition of Conformity Assessment by Central Government Bodies
Article 7 on Procedures for Assessment of Conformity by Local Government Bodies
Article 8 on Procedures for Assessment of Conformity by Non-Governmental Bodies
Article 9 on International and Regional Systems

5. Definition
TBT Annex 1.3
What for ?
To determine that relevant requirements in technical regulations or standards are fulfilled

6. ...as well as their combinations
Definition
TBT Annex 1.3
What kind ?
Sampling, testing and inspection
Evaluation, verification and assurance of conformity
Registration, accreditation and approval
...as well as their combinations

7. Main Disciplines

8. Main Disciplines of the TBT Agreement
Non - Discrimination
Avoidance of unnecessary
obstacles to trade
Harmonization

9. Non-Discrimination Conditions no Less Favourable to
Access of Suppliers of Like Products
Art
Originating
Of national origin
From any other country
National Treatment
Most-Favoured Nation (MFN)

10. Non-Discrimination: What Does Access Means?
Suppliers' right to an assessment of conformity under the rules of the procedure, including, when foreseen by this procedure, the possibility to have conformity assessment activities undertaken at the site of facilities and to receive the mark of the system
Art

11. Avoid unnecessary obstacles to trade
Must not be prepared, adopted or applied so as to Create unnecessary obstacles to international trade
Art

12. Avoid unnecessary obstacles to trade
This means, inter alia,
To Give the Importing Member Adequate Confidence that Products Conform, Taking Account of the Risks Non-Conformity would Create
CAP shall Not be More Strict or Be Applied More Strictly than is Necessary
Art

13. Requirements on Timing
Art. 5.2
CAP are undertaken & completed as expeditiously as possible
The standard processing period of each CAP is published or the anticipated processing period is communicated to the applicant upon request
When receiving an application, the competent body promptly examines the completeness of the documentation and informs the applicant in a precise and complete manner of all deficiencies
Upon request, the applicant is informed of the stage of the procedure, with any delay being explained

14. Requirements on Information
Art. 5.2
The amount of information requested must be limited to what is necessary to assess conformity and determine fees
Confidentiality must be respected in the same way for domestic and foreign products and in such a manner that "legitimate commercial interests are protected"

15. Operation Conditions
Art. 5.2
Ensure that the principles of non-discrimination & prevention of unnecessary barriers to trade are respected in relation to:
Any fees imposed for assessing conformity of products
The siting of facilities used in CAP
The selection of samples
Changes in the specifications of a product

16. And...
Art
Members must ensure that a procedure to review complaints concerning the operation of a CAP exists and take corrective action when a complaint is justified

17. And...
Art. 5.3
Nothing shall prevent Members from carrying out reasonable spot checks within their territories

18. And...
Art. 6.4
Members are encouraged to permit the participation of CA bodies located in the territories of other Members in their own CAP under conditions no less favourable than those accorded to bodies located within their territory or the territory of any other country

19. The Harmonization Principle
Relevant guides or recommendations issued by international standardizing bodies shall be used as a basis for the elaboration of CAP
2 key requirements
Shall play a full part in the preparation by appropriate international standardizing bodies of guides and recommendations for CAP

20. The Harmonization Principle: Use
A positive assurance is required that products conform with technical regulations or standards + If
Art. 5.4
Relevant guides or recommendations issued by international standardizing bodies exist or their completion is imminent
Members shall ensure that central government bodies use them, or the relevant parts of them, as a basis for their CAP
Then

21. The Harmonization Principle: Use
Such guides or recommendations or relevant parts are inappropriate for the Members concerned
Except
For, inter alia, such reasons as
national security requirements
prevention of deceptive practices
fundamental infrastructural problems
protection of the environment
fundamental technological problems
protection of human health or safety
fundamental climatic or other geographical factors
protection of animal or plant life or health

22. The Harmonization Principle: Participation
Members shall play a full part in the preparation,
within the limits of their resources
by appropriate international standardizing bodies of guides or recommendations
Art. 5.5
For What ?
for conformity assessment procedures

23. The Harmonization Principle: Participation
Members are encouraged both to set up international systems for conformity assessment and to participate in such systems
Art. 9.1

24. Approaches to Facilitate the Acceptance of Conformity Assessment Results

25. Second Triennial Review (2000)
Indicative list of approaches to facilitate the acceptance of conformity assessment results
Supplier’s Declaration of Conformity
Use of accreditation
Mutual Recognition Agreements (MRAs) for CA between governments
Co-operative (voluntary) arrangements b/w domestic and foreign CA bodies
Unilateral recognition of results of foreign CA as equivalent, incl. the possibility of government designation of specific CA bodies

26. Unilateral Recognition
Members have an obligation to ensure that results of conformity assessment procedures in other Members, which are equivalent to their own procedures, are accepted
Art. 6.1

27. Unilateral Recognition
Members are encouraged to enter into consultations in order to implement this provision
Art. 6.1
Regarding in particular
The limitation of the acceptance of CA results to those produced by designated bodies in the exporting Member

28. MRAs between governments: TBT Provisions
2 or more Members may enter into Mutual Recognition Agreements (MRAs) which involve the reciprocal acceptance of the results of CAP taking place in the territory of all Members concerned
Art. 6.3

29. MRAs between governments: Narrowly Defined Conditions
MRAs are concluded between Members, i.e. government-to-government
Art. 6.3
MRAs concern the mutual recognition of results of each other's CAP

30. MRAs between governments: Narrowly Defined Conditions
Members may require that MRAs fulfill the criteria contained in Article 6.1, concerning e.g. the consideration of the technical competence of the CA bodies, the confidence in the continued reliability of their CA results, …
Art. 6.3
Members may require that MRAs give mutual satisfaction regarding their potential for facilitating trade in the products concerned

31. Geographical Distribution of Notified MRAs on CA Results, by Region Involved in the Agreement

32. Notified MRAs on Conformity Assessment Results by Country Group

33. Co-operative (voluntary) arrangements b/w domestic and foreign CA bodies: Definition
Arrangements among accreditation bodies directly (and not through Members and central government bodies) as well as arrangements among individual laboratories, certification bodies and inspection bodies

34. Co-operative (voluntary) arrangements b/w domestic and foreign CA bodies: Recognition
Some of these arrangements, on occasion, have been recognized by governments as a basis for the acceptance of test results and certification activities in relation to specific regulations

35. SDoC: Definition
CA Procedure by which a supplier provides written assurance that a product, process or service conforms to specified requirements

36. SDoC: Discussions in the TBT Committee
SDoC facilitates trade
Third Triennial Review (2003)
Suggests ways to improve its usability and acceptance
Exchange information and experiences and hold a workshop on SDoC covering issues such as:
21 March 2005

37. Use of Accreditation: Definition
Procedure by which an authoritative body gives formal recognition that a body or person is competent to carry out specific tasks

38. Use of Accreditation: Definition
testing laboratories
This formal evaluation and recognition of competence may be applied to
inspection bodies
certification bodies
Accreditation bodies are authoritative & independent entities that do not themselves deal with verification of product specifications
Their task is to assess the organizations carrying out such functions

39. Use of Accreditation: Article 6.1.1
Identifies accreditation as a possible tool for Members to verify the technical competence of conformity assessment bodies in exporting country Members
Article 6.1.1
Specifies that, when operated according to relevant international standards, accreditation offers a mechanism which could promote confidence

40. WTO, Trade and Environment Division
Overview of the TBT Committee's Work on Conformity Assessment and of the Relevant Provisions of the TBT Agreement
Ludivine Tamiotti
WTO, Trade and Environment Division
Legal Affairs Officer